Mar 19, 2013 4:13pm

The Blotter Report: It’s a Greedy, Greedy Game

Most Recent Blog Posts

Oct 23, 2014

Fiduciary Advocates: We Need a New Strategy

The brokerage industry outspends RIAs 50 to one in lobbying dollars, and the press hasn't done a good job covering the fiduciary debate, advocates....More
Oct 20, 2014

Is More Regulation Really Necessary to Protect Investors?

The Financial Planning Coalition is advocating for new regulatory standards for financial planners, contending new research shows investors are....More
Oct 02, 2014

FSI Responds to CARDS by Forming Task Force

FSI formed a task force of broker/dealer executives to analyze and respond to FINRA's Comprehensive Automated Risk Data System (CARDS) proposal....More
Sep 04, 2014

The SEC Needs to Fix the Problem It Created

Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara....More
Aug 18, 2014

The Blotter Report: Dirty Rotten Liars

A self-titled financial coach is in trouble over some shady financial advice while a Missouri who took off over his con starting unraveling takes a....More
Aug 05, 2014

FSI Taps Antoniades to Replace Brown on Board

The Financial Services Institute elected Cetera Financial Group President Adam Antoniades to serve as vice chair on its board of directors, replacing....More
Jul 31, 2014

Blotter Report: The Deathdealer

A Los Angeles broker will pay for his role in bringing a whole new meaning to the phrase “death benefits.”....More
Jul 09, 2014

The Blotter Report: Where Did it All Go Wrong?

The evidence keeps piling up against a Long Island financial planner accused of stealing $1.6 million from charities and clients. Meanwhile FINRA....More
Jul 07, 2014

RIAs Increase Compliance Staff, Training

RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a....More
Jun 27, 2014

SEC May Lack Sufficient Data for Fidiciary Rule, Industry Groups Cry Foul

A senior official with the Securities Exchange Commission told Congress Thursday the regulator may not have sufficient data to move ahead on....More
Jun 26, 2014

Arbitrator Rule Should Be Based on Data, Not Perception

Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton....More
Jun 26, 2014

Arbitrator Rule Should Be Based on Data, Not Perception

Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton....More
Jun 23, 2014

FPA Pushes For Senate User-Fee Bill

The Financial Planning Association is seeking to resurrect the concept of allowing the Securities Exchange Commission to collect fees to fund advisor....More
Jun 17, 2014

The Blotter Report: When the Jig is Up

A New York investment advisor's luck runs out when the SEC claims the firm is raiding client funds to pay for vacation homes and luxury items....More
Jun 12, 2014

FSI Skeptical About FINRA BrokerCheck Rule Feasibility

Will FINRA’s proposed rule requiring firms to link to BrokerCheck records increase investor awareness? The Financial Services Institute remains....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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